James Madigan has been an investment adviser representative at Regal Advisory Services since February 2014, and is not listed among the firm’s executive officers or direct owners.
Regal Advisory Services, Inc. is a Glenview, IL firm with $121M under management, 274 clients and 16 advisers across 13 offices, as of its July 2026 filing.
James Madigan’s longest registration is the current one, 12 years at Regal Advisory Services since 2014. Before joining Regal Advisory Services in 2014, James Madigan was registered through Wells Fargo Advisors, LLC and UBS Financial Services Inc.
- – present · 12 yearsBrick, NJ · Adviser representative · Firm CRD 123842
- Wells Fargo Advisors, LLC– · 7 yearsLincroft, NJ · Adviser representative · Firm CRD 19616
- UBS Financial Services Inc.– · 3 yearsRed Bank, NJ · Adviser representative · Firm CRD 8174
Investment adviser representative registrations
James Madigan is registered as an investment adviser representative in New Jersey, since February 2014.
- New JerseySince 11 February 2014
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 21 December 1994 |
| Series 63 | Uniform Securities Agent State Law Examination | 25 March 1994 |
| Series 7 | General Securities Representative Examination | 18 March 1994 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- James Francis Madigan
- CRD
- 2319930
- Firm
- Regal Advisory Services · CRD 123842
- Office
- Brick, NJ
- Registration
- Investment adviser and broker registrations
- In the industry since
- April 1994
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does James Madigan work?
James Madigan is an investment adviser representative registered through Regal Advisory Services, Inc. since February 2014, and is not listed among the firm’s executive officers or direct owners.
Is James Madigan a financial advisor?
Yes. James Madigan has a current investment-adviser registration in New Jersey, through Regal Advisory Services since February 2014.
How many years of experience does James Madigan have?
James Madigan has 32 years in the financial industry, since April 1994, across 3 adviser firms.
What exams has James Madigan passed?
James Madigan has passed 3 licensing exams: the Series 7, Series 63 and Series 65. The earliest, the Series 7, was passed in March 1994. FINRA credited James Madigan with the SIE, which began in October 2018.
Where did James Madigan work before Regal Advisory Services?
Before Regal Advisory Services, James Madigan was registered through UBS Financial Services Inc., May 2002 to March 2006.
Where is James Madigan based?
James Madigan’s registered office is in Brick, NJ.
Is James Madigan registered with FINRA?
Yes. James Madigan has a current broker registration, under CRD 2319930.
Source: FINRA BrokerCheck
How can I verify James Madigan’s record?
Search CRD 2319930 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish James Madigan’s full registration record.